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Steven Michael Carter

Northwestern Mutual Investment Services, LLC

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About Steven Michael Carter

Steven Michael Carter is a financial advisor who has been in the industry since 1989. Steven is currently registered with Northwestern Mutual Investment Services, LLC in San Francisco, CA. He is also licensed in California, Massachusetts, New Jersey, and New York. Prior to working with Northwestern Mutual Investment Services, LLC, Steven worked with Robert W. Baird & Co. Incorporated, Security Pacific Leasing Services Corporation, and Capital Concepts Investment Corp. Steven is a Series 6, 7, 22, 24, 63, and 65 licensed advisor.

Firm Information

Steven Carter is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Steven Carter’s Registration & Firm History

CA

01/01/2025 - Present

Northwestern Mutual Investment Services, LLC (SAN FRANCISCO CA)

WI

06/28/2001 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

NA

11/22/1985 - 08/28/1987

SECURITY PACIFIC LEASING SERVICES CORPORATION

NA

07/09/1984 - 02/25/1985

CAPITAL CONCEPTS INVESTMENT CORP.

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Licenses & Designations

IA

Issued 07/16/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/19/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/03/1986

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/05/2001

Series 7 - General Securities Representative Examination

BC

Issued 10/31/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 07/06/1984

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Michael Carter.
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